IMS Checklist

(1)

No.

STD

Title

Question

Compliance

Comments

1. ISO9k

4.1,

5.5,

5.5.1 General

 Has organization established, documented, implemented and maintained an Integrated Management System (IMS) that meets ISO9001, ISO 14001 and ISO 18001 requirements?

 Has organisation defined scope for IMS?  Has organisation addressed exclusions for IMS?  Are Process Interactions and Interrelations defined?  Has organisation developed its organisation chart?  Are roles and responsibilities defined?

 Does organisation define outsourced processes and further define controls for these processes.

ISO14k

4.1 OHSA18k

4.1

2. ISO9k

4.2,

4.2.1,

4.2.2,

4.2.3 Documentation,

Documents and

Record Control

IMS Manual:

 the scope of the IMS including details of and justification for any exclusions?

 Documented procedures established for the IMS, or reference to them?

 Description of the interaction between the processes of the IMS?

Control of Documents:

 Are documents required for the IMS controlled?

 Has documented procedure been establish identifying the following controls needed?

a. Approval of documents for a adequacy prior to issue?

b. Review, update as necessary and re-approval of documents? c. Ensure that changes and the current revision status of

documents are identified?

d. Ensure that relevant version of applicable documents are available at points of use?

e. Ensure that documents remain legible and readily identifiable?

f. Ensure that documents of external origin are identified and their distribution controlled?

g. Preventing the unintended use of obsolete documents, and to apply suitable identification to them if they are retained? Control of Records:

 Have records been establish and maintained to provide evidence of conformity to requirements and of the effective operation of the quality management system?

 Has a documented procedure been established to define the following controls needed?

Identification? Storage? Retrieval? Protection? Retention Time? Disposition?

ISO14k

4.4.4,

4.4.5,

4.5.3 OHSA18k

4.4.4,

4.4.5,

4.5.3

(2)

No.

STD

Title

Question

Compliance

Comments

3. ISO9k

5.3 Policy

Top management of organization has defined the IMS policy(s) which:  communicated within the organisation at all levels

 is appropriate to the nature, scale and environmental impacts, H&S and Quality of it's activities

 includes a commitment to continual improvement  includes a commitment to comply with applicable legal

requirements and with other requirements to which organization subscribes which relate to its environmental aspects

 provide a framework for setting and reviewing IMS objectives and targets

ISO14k

4.2 OHSA18k

4.2

4. ISO9k

5.2,

7.2.1,

7.2.2 Identification &

Evaluation of

Aspects,

Impacts &

Risks

And

Customer-related

processes

7.2.1 Determination of Requirements Related to the Product Has the organization determined :

a. Requirements specified by the customer, including the requirements for delivery and post delivery activities?

b. Requirements not stated by the customer but necessary for specified or intended use, where known?

c. Statutory and regulatory requirements related to the product? d. Any additional requirements determined by the organization?

ISO14k

4.3.1

Review of Requirements Related to the Product

Prior to the commitment to the customer (e.g. submission of tenders, acceptance of contracts or orders or acceptance of change orders) are requirements reviewed to ensure that:

a. Product requirements are defined?

b. Contract or order requirements differing from those previously expressed or resolved?

c. The organization has the ability to meet defined requirements?  Are the results of reviews and actions arising from these reviews

recorded and maintained as records?

 Where the customer has not provided a documented statement of requirements, are customer requirements confirmed by the organization before acceptance?

 Where product requirements are changed, does the organization ensure that relevant documentation is amended and relevant personnel are made aware of the changed requirements?

OHSA18k

4.3.1

 Has organization identified its Environmental Aspects and H&S Hazards related to its activities?

 Does organization have any system for evaluation of its environmental aspects and H&S Hazards?

 Does Organization have a system to control the impacts of its environmental aspects and H&S Hazards?

 Does organization have any documented procedure to identify environmental aspects and H&S Hazards and evaluate their impacts?

(3)

No.

STD

Title

Question

Compliance

Comments

5. ISO9k

5.1,

5.5,

5.5.1,

5.5.2 Roles &

Responsibilities

 Does organization have sufficient resources to establish, maintain, implement and improve its IMS?

 Does organization have defined roles and responsibilities of personnel in order to facilitate effective IMS?

 Has organization appointed a specific Management Representative (MR) for implementing IMS effectively?

 Has organization defined roles, responsibilities and authorities of MR?

ISO14k

4.4.1 OHSA18k

4.4.1

6. ISO9k

5.2,

7.2.1 Identification of

Legal & other

Requirements

 Does organization have documented procedure to identify and have access to applicable legal requirements?

 Is it determined that how these requirements applied to its environmental aspects and H&S hazards?

 Has organization maintained a list of all applicable legal and other requirements related to environmental aspects and H&S hazards of its activities?

ISO14k

4.3.2 OHSA18k

4.3.2

7. ISO9k

5.4.1,

8.5.1 Objectives &

Targets and

Continual

Improvement

 Is there any system in place to define IMS objectives and targets at relevant functions and levels within the organization?

 Does organization have any documented procedure for setting IMS objectives and targets?

 "Is there any documented management program available for achieving environmental & H&S objectives and targets, which include;

- Roles and Responsibilities

- Target Dates for achieving objectives - Resources Required

- Means / Activities for achieving objectives"

 Does this include the objectives needed to meet requirements for product?

 Are the IMS objectives measurable and consistent with the IMS policy?

Continual Improvement:

• Does the organization continually improve the effectiveness of IMS?

• Are results of audits, analysis of data, corrective and preventive actions, management reviews, IMS Policy and objectives used for continual improvement?

ISO14k

4.3.3

(4)

No.

STD

Title

Question

Compliance

Comments

8. ISO9k

5.5.3 Internal and

External

Communication

 Does organization have a documented procedure for internal and external communication with regard to its EMS?

 Does organization have any defined mechanism for external communication?

ISO14k

4.4.3 OHSA18k

4.4.3

9. ISO9k

---

Emergency

Preparedness

and Response

 Has organization identified potential emergency situations and potential accidents that can have impact on environment?

 Does organization have any documented procedure for Emergency Preparedness and Response?

 Does organization have any mechanism to review and revise its emergency preparedness and response procedures?

 Does organization conduct emergency drills on regular basis?  Does organization maintain record of these drills?

ISO14k

4.4.7 OHSA18k

4.4.3

10. ISO9k

8.3,

8.5.2,

8.5.3 Accidents,

Incidents,

Non-conformance

and Corrective

& Preventive

Action

 Does organization have a documented procedure for dealing with actual and potential nonconformities?

 "Does organization have a documented procedure which includes requirements for;

o identifying and correcting NCs and taking actions to mitigate their environmental impacts

o Investigating NCs, determining their causes and taking actions to avoid their recurrence

o evaluating need for actions to prevent NC(s) and implementing appropriate actions to avoid their occurrence

o recording results of corrective and preventive actions o reviewing effectiveness of Corrective and Preventive Actions" o Does organization have Corrective and Preventive action form? o Does organization maintain CPA log of all actions taken?

ISO14k

4.5.2

(5)

No.

STD

Title

Question

Compliance

Comments

11. ISO9k

7.1,

7.2.1,

7.2.1 Product

Realisation and

Operational

Control

 Is planning of the organization’s product realization consistent with organisation processes?

 Quality objectives and requirements for the product?

 The need to establish processes, documents, and provide resources specific to the product?

 Required verification, validation, monitoring, inspection and test activities specific to the product and criteria for product acceptance?

 Records needed to provide evidence that the realization processes and resulting product fulfil requirements?

 Is the planning output in a form that is suitable for the organization’s method of operation?

Determination of Requirements Related to the Product

 Requirements specified by the customer, including the requirements for delivery and post delivery activities?

 Requirements not stated by the customer but necessary for specified or intended use, where known?

 Statutory and regulatory requirements related to the product?  Any additional requirements determined by the organization?

Review of Requirements Related to the Product Before contract/ tender/ order are followings reviewed? d. Product requirements

e. Changes/ amendments

f. The organization has the ability to meet defined requirements g. Review records and records of changes in the order/contract h. Acceptance of order/ contract

ISO14k

4.4.6

HSE

 Does organization have any documented procedure to control situations where their absence could lead to deviation from the environmental organization, objectives and targets?

 Does organization carry out its operations under control conditions, which are associated with significant environmental aspects and H&S hazards?

 Has organization communicated the applicable procedures and requirements to the suppliers?

 Does organisation establish and maintain procedures for the design of workplace, process, installations, machinery, operating procedures and work organization, including their adaptation to human capabilities, in order to eliminate or reduce HSE risks at their source.

(6)

No.

STD

Title

Question

Compliance

Comments

12. ISO9k

7.3 Design &

Development

7.3.1 Design and Development Planning

Are product design and development activities planned and controlled? During design and development planning has the organization determined:

a. Stages of design and development?

b. Review, verification and validation that are appropriate to each design and development stage?

c. Responsibilities and authorities for design and development?

Are interfaces between different groups involved in design and development managed to ensure effective communication and clear assignment of responsibilities?

Is planning output updated as the design and development progresses?

7.3.2 Design and Development Inputs

Are inputs relating to product requirements defined, documented and maintained as a record?

Does design and development input include: a. Functional and performance requirements? b. Applicable statutory and regulatory requirements?

c. Applicable information derived from previous similar designs? d. Other requirements essentials for designs and development? Are design and development inputs reviewed for adequacy?

Are incomplete, unambiguous or conflicting requirements resolved?

7.3.3 Design and Development Outputs

Are outputs of the design and development provided in a form that enables verification against the design and development inputs?

Are design outputs approved prior release? Does the design and development output:

a. Meet the design and development input requirements?

b. Provide appropriate information for purchasing, production and for service provision?

c. Contain or reference product acceptance criteria?

Specify the product characteristics that are essential to its safe and proper use?

7.3.4 Design and Development Review

Are systematic reviews performed in accordance with planned arrangements at suitable stages of the design and development?

Do design and developments review:

a. Evaluate the ability of the results of design and development to meet requirements?

b. Identify problems and propose necessary actions?

Do review participants include representatives of functions concerned with the design and development stage(s) being reviewed?

Are results of reviews and any actions necessary maintained as records?

7.3.5 Design and development Verification

Is design and development verification performed in accordance with planned arrangements to ensure that the design outputs have met the design and development input requirements?

Are results of the verification and actions maintained as records?

7.3.6 Design and Development Validation

Is design and development validation performed in accordance with planned arrangements? Is design and development validation performed to confirm that the product is capable of meeting the requirements for the specified application or intended use, where known? Is validation completed prior to delivery or implementation of the product wherever applicable?

Are results of the validation and actions maintained as records?

7.3.7 Control of Design and Development Changes

Are design and/ or development changes identified and recorded?

Do reviews of design and development changes include evaluation of the effect of the changes on constituent parts and product already delivered?

Are design and development changes reviewed, verified, validated as appropriate and approved before implementation?

n/a

ISO14k

---

(7)

No.

STD

Title

Question

Compliance

Comments

13. ISO9k

7.4 Purchase

Purchasing control

 Are the purchasing processes controlled to ensure purchased product (or service) conforms to requirements?

 Is the type and extent of control applied to the supplier and purchased product dependent upon the effect of the purchased product on subsequent product realization or the final product.  Are supplies selected and evaluated based on their ability to supply

product in accordance with the organization’s requirements?  Has the organization established criteria for selection evaluation

and re-evaluation of  suppliers?

 Are results of the evaluations and any necessary actions maintained as records?

Purchasing Information

 Does purchasing information describe the product to be purchased? Including are appropriate:

a. Requirements for approval of product, procedures, processes and equipment?

b. Requirements for qualification of personnel? c. Quality management system requirements?

 Is the adequacy of specified purchased requirements ensured prior to their communication to the supplier?

 Does organisation assess HSE concern of the supplier? Verification of Purchased Products

 Have the inspection or other activities necessary for ensuring that purchased product meets specified purchase requirements been established and implemented?

 Are verification arrangements and method of product release specified in the purchasing information where the organization or its customer intends to perform verification at supplier’s premises?

ISO14k

4.4.6

(8)

No.

STD

Title

Question

Compliance

Comments

14. ISO9k

7.5,

7.5.1,

7.5.2,

7.5.3,

7.5.4,

7.5.5 Control of

Production &

Service

Provision

Control of Production and Service Provision

Are the production and service provision planned and carried out under controlled conditions including :

a. Availability of information that describes the product characteristics?

b. Availability of work instructions, as necessary? c. Use of suitable equipment?

d. Availability and use of monitoring and measuring devices? e. Implementation of monitoring and measurement?

f. Implementation of release, delivery and post delivery activities?

Validation of Processes for Production and Service Provision Have processes where deficiencies may become apparent only after the product is in use or the service has been delivered been validated? Do the results of validation demonstrate the ability of the processes to achieve planned results?

Where applicable, have the arrangements been established for: a. Defining criteria for review and approval of processes? b. Approval of equipment and qualification of personnel? c. Use of specific methods and procedures?

d. Requirements for records? Re- validation?

Identification and Traceability

Is the product identified by suitable means throughout product realization?

Is the product status identified with respect to monitoring and measurement requirements?

When traceability is a requirement, is the product uniquely identified and controlled?

Is the unique identification maintained as a record? Customer Property

Does the organization exercise care with customer property while it is under the organization’s control or being used by the organization? Is customer property identified, verified, protected, and safeguard? If lost, damaged or otherwise found to be unsuitable for use, is condition recorded, reported to the customer and maintained as a record?

Preservation of Product

Is conformity of product preserved during internal processing and delivery to the intended destination?

Does preservation activities include: a. Identification? b. Handling? c. Packaging? d. Storage? e. Protection?

ISO14k

4.4.6 OHSA18k

4.4.6

(9)

No.

STD

Title

Question

Compliance

Comments

15. ISO9k

6.1,

6.2.1,

6.2.2,

6.3,

6.4 Resource

Management

 Does organisation maintain personal records of its personnel?  Does organisation has minimum selection criteria?

Training & Competence

 "Has organization identified competence level of different personnel deployed within organization and to maintain its IMS based on;  a) Education; b) Training ; c) Experience"

 Has organization maintained record of education, training and experience of personnel working in it?

 Does organization identify training needs associated with its IMS?  Does organization maintain training records?

 Does organization have training evaluation system in place?  Does organization maintain records of evaluation of trainings?  Does organization have any documented procedure for Training

and awareness? Infrastructure

To achieve conformity of product, does the organization identity, provide, and maintain the facilities including :

a. Building, workshops and associated utilities? b. Process equipment, hardware and software? c. Supporting services?

Work Environment

Has the environment needed to achieve conformity of product requirements been determined and managed?

ISO14k

4.4.2 OHSA18k

4.4.2

16. ISO9k

8.2.2 Management

Review

 Does organization have a documented procedure for management review meetings?

 "Does organization discuss following agenda in review meetings; a. results of internal audits and evaluations of compliance with legal

requirements and with other requirements to which the organization subscribes

b. communication(s) from external interested parties, including complaints c. the environmental performance of the organization

d. the extent to which objectives and targets have been met e. status of corrective and preventive actions

f. follow-up actions from previous management reviews

g. changing circumstances, including developments in legal and other requirements related to its environmental aspects

h. recommendations for improvement"

i. Has organization defined frequency of Management Review Meetings?

ISO14k

4.6 OHSA18k

4.6

17. ISO9k

5.6 Internal Audit

 Does organization conduct internal audits of IMS at planned intervals?

 Does organization have a documented procedure for internal auditing?

 Does organization ensure impartiality of audit process while selecting internal auditors?

 Has organization defined frequency of internal audits?

ISO14k

4.5.5 OHSA18k

4.5.5

(10)

No.

STD

Title

Question

Compliance

Comments

18. ISO9k

7.6,

8.1,

8.2.1,

8.2.3,

8.2.4

8.4 Monitoring &

measurement

Does organisation:

a. Demonstrate conformity of the product?

b. Ensure conformity of the integrated management system?

c. Continually improve the effectiveness of the integrated

management system?

 Is information relating to customer perception monitored by the

organization as to whether customer requirements have been met?

 Have the methodologies for obtaining and using information related to

customer perception been determined?

HSE

 Does organization have any documented procedure to regularly

monitor and measure key characteristics of its operations that can have significant environmental aspects and H&S hazards?

 Does the procedure include information to monitor performance,

applicable operational controls and conformity with environmental & H&S objectives and targets?

 Does organisation show proactive measures of performance that

monitor compliance with the HSE?

 Does organisation fulfil management program, operational criteria and

applicable legislation and regulatory requirements?

 Does organisation perform reactive measures of performance to

monitor accidents, ill health, incidents (including near-misses) and other historical evidence of deficient HSE performance?

Analysis of Data

 Does organisation record data and results of monitoring and

measurement sufficient to facilitate subsequent corrective and preventive action analysis?

Calibration

 Does organization ensure that calibrated equipment is used for

monitoring and measurement activities?

 Does organization maintain record of calibration of monitoring and

measuring equipment?

Measurement and monitoring of product and process:

 Are suitable methods applied for monitoring and where applicable,

measurement of the quality management system processes necessary to meet customer requirements?

 Do these methods demonstrate the ability of the processes to achieve

planned results?

 Are correction and corrective actions taken when planned results are

not achieved?

 Are the product characteristics monitored and measured to verify that

product requirements are met?

 Is monitoring and measurement of product characteristics carried out at

appropriate stages of the product realization process in accordance with the planned arrangements?